18-01881 | 07/30/2019 | Claimant(s): Kim Ngo Claimant Lawyers(s): Marc Schifanelli Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Lisa M. Bertain Arbitrator(s): Peter J Cohen, George Herman Frisch, Stephen Laughlin Eddy Hearing Site: Los Angeles, CA
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12-02542 | 05/09/2014 | Claimant(s): Robert Reynolds Claimant Lawyers(s): David J. Stone Respondent(s): Morgan Stanley Respondent Lawyers(s): Lisa M. Bertain Arbitrator(s): Jim Geiger, Thomas B. Corey, Thomas J. Dolina Hearing Site: Baltimore, MD
| | Expungement |
11-00235 | 12/28/2012 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Lisa M. Bertain Respondent(s): Steven Widtfeldt Respondent Lawyers(s): Steven Eric Widtfeldt Arbitrator(s): Mark I Preston, Charles A. Joplin, Earle J. Schwarz Hearing Site: Dallas, TX
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09-00593 | 04/09/2010 | Claimant(s): Lois Lovins Claimant Lawyers(s): Erwin J. Shustak Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Lisa M. Bertain Arbitrator(s): Elizabeth A. Copley, Glen W. Hanne, Alfred S. Samulon Hearing Site: Los Angeles, CA
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